Ann E. Kingstrom
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ann Elise Kingstrom was a registered financial professional .
Ann is a previously registered financial professional and started their career in finance in 1983. Ann had worked at 5 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2016 - January 24, 2017
NEUBERGER BERMAN BD LLC
October 9, 2015 - January 24, 2017
NEUBERGER BERMAN BD LLC
March 17, 2009 - June 7, 2013
B. C. ZIEGLER AND COMPANY
January 1, 1995 - March 5, 2009
GOLDMAN SACHS & CO. LLC
January 30, 1993 - January 1, 1995
GOLDMAN SACHS MONEY MARKETS, L.P.
November 8, 1988 - January 28, 1993
GOLDMAN SACHS & CO. LLC
September 27, 1983 - January 28, 1987
INVESCO CAPITAL MARKETS, INC.
Primary Firm SEC Registration
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NEUBERGER BERMAN BD LLC
CRD#: 2908 / SEC#: 801-3908, 8-1068
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 20 |
| Arbitration | 5 |
Red Flags
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